DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Capital One Investing, Inc.

Former SEC-registered adviserMclean, VirginiaCRD 285084SEC 801-111630IAPD
Latest filing Mar 31, 2022
First filing on the tape Aug 7, 2017 · 41 filings
RAUM
$920M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$839M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
73
34 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$920M as of Mar 31, 2022
Mar 29, 2018$128M then
HNW client RAUM$602M as of Mar 31, 2022
Mar 29, 2018$68.7M then
State-registered IARs (5.B.3)24 as of Mar 31, 2022
Mar 29, 20187 then
Employees (5.A)73 as of Mar 31, 2022
Mar 29, 201828 then
Private funds: no history
RAUM +3.5% over the last fiscal year+8.4% a year over threeIARs 30 to 24offices 3 to 1
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
RAUM per advisor
$38.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
45derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$844,941derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
12.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+3.5%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
-6.1%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Financial planning clients
1,000reportedItem 5.H
Wrap fee program
$920MreportedItem 5.I
Custody
$889M, 1,154 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$602M65%
  • Individuals$237M26%
  • Corporations and businesses$79.2M8.6%
  • Charitable organizations$2.0M0.2%
Individual clients
821reported
HNW clients
251reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1,089reported
Financial planning clients
1,000reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$889M for 1,154 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Michael David Bann · Presidentcontrol
    since 02/2022 · owns less than 5%
  • Forrest Richard Bowman Jr · Head Of Platform Managementcontrol
    since 05/2021 · owns less than 5%
  • Ann Allison Ferko · Chief Legal Officercontrol
    since 07/2019 · owns less than 5%
  • Corey David Lawson · Chief Compliance Officercontrol
    since 05/2021 · owns less than 5%
  • Sather Elizabeth Sabin · Head Of Investmentscontrol
    since 05/2020 · owns less than 5%
  • David Wolfand · Head Of Engineeringcontrol
    since 01/2021 · owns less than 5%
Entity owners
  • Capital One Financial Corporation · Sole Shareholder
    direct · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Syracuse, NY2 employees
What changed
consecutive filings, newest first
  • Accounts · 1,154 to 1,089
    Mar 4, 2022 to Mar 31, 2022
  • Advisory employees · 50 to 34
    Mar 4, 2022 to Mar 31, 2022
  • BD registered reps · 3 to 4
    Mar 4, 2022 to Mar 31, 2022
  • Corporate clients · 12 to 16
    Mar 4, 2022 to Mar 31, 2022
  • HNW clients · 249 to 251
    Mar 4, 2022 to Mar 31, 2022
  • Individual clients · 893 to 821
    Mar 4, 2022 to Mar 31, 2022
  • Employees · 118 to 73
    Mar 4, 2022 to Mar 31, 2022
  • State-registered IARs · 30 to 24
    Mar 4, 2022 to Mar 31, 2022
  • Discretionary RAUM · $889M to $920M
    Mar 4, 2022 to Mar 31, 2022
  • HNW RAUM · $610M to $602M
    Mar 4, 2022 to Mar 31, 2022
  • Individual RAUM · $257M to $237M
    Mar 4, 2022 to Mar 31, 2022
  • RAUM · $889M to $920M
    Mar 4, 2022 to Mar 31, 2022
  • Other offices · 2 to 1
    Dec 8, 2021 to Mar 4, 2022
  • Business name · UNITED INCOME, INC. to CAPITAL ONE INVESTING, INC.
    Jun 25, 2021 to Jul 30, 2021
  • Legal name · UNITED INCOME, INC. to CAPITAL ONE INVESTING, INC.
    Jun 25, 2021 to Jul 30, 2021
  • Other offices · 3 to 2
    May 17, 2021 to Jun 25, 2021
  • Accounts · 1,606 to 1,154
    Jan 4, 2021 to Mar 31, 2021
  • Advisory employees · 33 to 50
    Jan 4, 2021 to Mar 31, 2021
  • Advisory activities · 4 to 3
    Jan 4, 2021 to Mar 31, 2021
  • BD registered reps · 1 to 3
    Jan 4, 2021 to Mar 31, 2021
  • Charity clients · 4 to 0
    Jan 4, 2021 to Mar 31, 2021
  • Corporate clients · 11 to 12
    Jan 4, 2021 to Mar 31, 2021
  • HNW clients · 373 to 249
    Jan 4, 2021 to Mar 31, 2021
  • Individual clients · 1,176 to 893
    Jan 4, 2021 to Mar 31, 2021
  • Pension plan clients · 42 to 0
    Jan 4, 2021 to Mar 31, 2021
  • Assets in custody · $476M to $889M
    Jan 4, 2021 to Mar 31, 2021
  • Employees · 79 to 118
    Jan 4, 2021 to Mar 31, 2021
  • State-registered IARs · 22 to 30
    Jan 4, 2021 to Mar 31, 2021
  • Other offices · 7 to 3
    Jan 4, 2021 to Mar 31, 2021
  • Discretionary RAUM · $1.2B to $889M
    Jan 4, 2021 to Mar 31, 2021
  • HNW RAUM · $752M to $610M
    Jan 4, 2021 to Mar 31, 2021
  • Individual RAUM · $255M to $257M
    Jan 4, 2021 to Mar 31, 2021
  • Pension RAUM · $184M to $0
    Jan 4, 2021 to Mar 31, 2021
  • RAUM · $1.2B to $889M
    Jan 4, 2021 to Mar 31, 2021
  • BD registered reps · 0 to 1
    Jul 9, 2020 to Dec 8, 2020
  • Accounts · 1,143 to 1,606
    Feb 27, 2020 to Mar 30, 2020
  • Advisory employees · 17 to 33
    Feb 27, 2020 to Mar 30, 2020
  • BD registered reps · 1 to 0
    Feb 27, 2020 to Mar 30, 2020
  • Charity clients · 3 to 4
    Feb 27, 2020 to Mar 30, 2020
  • Corporate clients · 7 to 11
    Feb 27, 2020 to Mar 30, 2020
Signals
45 dated events
  • Daniel Michael Goldstein left Capital One Investing, Inc. for Andersen (registered 2024-08-07)
    May 18, 2022 · Advisor changed firm · fact
  • Travis Bentley Smythe left Capital One Investing, Inc. for Stratos Wealth Partners, Ltd (registered 2023-11-02)
    May 16, 2022 · Advisor changed firm · fact
  • Ryan William Kruger left Capital One Investing, Inc. for 10Elms Llp (registered 2024-09-20)
    Apr 25, 2022 · Advisor changed firm · fact
  • Bradford Peter White left Capital One Investing, Inc. for Creative Planning Institutional Advisors, Llc (registered 2022-04-14)
    Apr 14, 2022 · Advisor changed firm · fact
  • Samuel Corson Brooks left Capital One Investing, Inc. for Buckingham Strategic Wealth, Llc (registered 2022-05-02)
    Apr 14, 2022 · Advisor changed firm · fact
  • Cord Anthony Adams left Capital One Investing, Inc. for Creative Planning Institutional Advisors, Llc (registered 2022-04-19)
    Apr 14, 2022 · Advisor changed firm · fact
  • Jonathan Clinton Campbell left Capital One Investing, Inc. for Creative Planning Institutional Advisors, Llc (registered 2022-04-19)
    Apr 14, 2022 · Advisor changed firm · fact
  • Kyle Robert Seeman left Capital One Investing, Inc. for Creative Planning Institutional Advisors, Llc (registered 2022-04-15)
    Apr 14, 2022 · Advisor changed firm · fact
  • Stephen Adam Mazer left Capital One Investing, Inc. for Creative Planning Institutional Advisors, Llc (registered 2022-04-15)
    Apr 14, 2022 · Advisor changed firm · fact
  • Marie Norkett left Capital One Investing, Inc. for Creative Planning Institutional Advisors, Llc (registered 2022-04-19)
    Apr 14, 2022 · Advisor changed firm · fact
  • 3 advisors left Capital One Investing, Inc. (Mclean, VA) for Creative Planning Institutional Advisors, LLC on the same day
    Apr 14, 2022 · Team lift-out · derived
  • Ryan A Maglio left Capital One Investing, Inc. for Creative Planning Institutional Advisors, Llc (registered 2022-03-17)
    Mar 15, 2022 · Advisor changed firm · fact
  • Cruickshanks Matthew Fellowes (Chief Executive Officer) no longer on Schedule A of Capital One Investing, Inc. (listed 2021-12-08, absent 2022-03-04)
    Mar 4, 2022 · Control person left · inference
  • Phillip Nuttall left Capital One Investing, Inc. for Lpl Financial Llc (registered 2022-01-12)
    Jan 3, 2022 · Advisor changed firm · fact
  • Ann Elizabeth Kelly (Chief Operations Officer) no longer on Schedule A of Capital One Investing, Inc. (listed 2021-11-09, absent 2021-12-08)
    Dec 8, 2021 · Control person left · inference
  • Ivan Mark Douce (Chief Compliance Officer) no longer on Schedule A of Capital One Investing, Inc. (listed 2021-03-31, absent 2021-05-17)
    May 17, 2021 · Control person left · inference
  • Corey David Lawson (Chief Compliance Officer) appeared on Schedule A of Capital One Investing, Inc.
    May 17, 2021 · Control person joined · fact
  • Forrest Richard Bowman Jr (Head Of Product Management) appeared on Schedule A of Capital One Investing, Inc.
    May 17, 2021 · Control person joined · fact
  • Capital One Investing, Inc. reported RAUM $889.4M, down 26% from $1.2B (2021-01-04 to 2021-03-31)
    Mar 31, 2021 · RAUM change · derived
  • David Wolfand (Head Of Engineering) appeared on Schedule A of Capital One Investing, Inc.
    Mar 31, 2021 · Control person joined · fact
  • Ann Elizabeth Kelly (Chief Operations Officer) appeared on Schedule A of Capital One Investing, Inc.
    Mar 31, 2021 · Control person joined · fact
  • Ann Elizabeth Kelly (Chief Operations Officer) no longer on Schedule A of Capital One Investing, Inc. (listed 2020-07-09, absent 2020-12-08)
    Dec 8, 2020 · Control person left · inference
  • Alexander John O'Shaughnessy (Chief Compliance Officer) no longer on Schedule A of Capital One Investing, Inc. (listed 2020-07-09, absent 2020-12-08)
    Dec 8, 2020 · Control person left · inference
  • Ivan Mark Douce (Chief Compliance Officer) appeared on Schedule A of Capital One Investing, Inc.
    Dec 8, 2020 · Control person joined · fact
  • Sather Elizabeth Sabin (Head Of Investments) appeared on Schedule A of Capital One Investing, Inc.
    May 12, 2020 · Control person joined · fact
  • Chessy Soccoli West (Chief Financial Officer) no longer on Schedule A of Capital One Investing, Inc. (listed 2020-02-27, absent 2020-03-30)
    Mar 30, 2020 · Control person left · inference
  • Michael David Bann (Senior Director Of Wealth Operations) appeared on Schedule A of Capital One Investing, Inc.
    Mar 30, 2020 · Control person joined · fact
  • Alexander John O'Shaughnessy (Chief Compliance Officer) appeared on Schedule A of Capital One Investing, Inc.
    Dec 13, 2019 · Control person joined · fact
  • Yehudah Benyamin Meirowitz (Chief Compliance Officer) no longer on Schedule A of Capital One Investing, Inc. (listed 2019-10-18, absent 2019-12-13)
    Dec 13, 2019 · Control person left · inference
  • Daniel Joseph Mansueto (Shareholder) no longer on Schedule A of Capital One Investing, Inc. (listed 2019-06-03, absent 2019-08-14)
    Aug 14, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026